Broker-Dealers

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Morgan Stanley Wealth Profit Rises But New Client Money Stumbles

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Profit in Morgan Stanley's wealth management division rose 24.6 percent in the first quarter, but new money from clients fell by about one-third, the company said on Monday.

Finra Starts Senior Help Line

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Finra has started a new help line for seniors 65 and over that can be useful for investors of all ages.

Ex-JPMorgan Chase Broker Charged For Taking And Losing Millions

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A former JPMorgan Chase & Co. broker faces federal charges that he stole $20 million from customers, only to lose at least $13.5 million in bets on Tesla Motors Inc., Apple Inc. and other companies.

Wealth Manager HighTower Hires Eight-Member Team From Morgan Stanley

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Chicago-based independent wealth management firm HighTower Advisors said it has hired an eight-member team which managed about $750 million.

Brokers Use Decoys, Spy Tactics To Go Independent

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Secret contracts, covert real-estate deals, scurrying around after nightfall to avoid detection: This is how far big-bank brokers are prepared to go when they plan to go independent.

How Safe Are Your Clients’ Assets?

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Cybercrime is a growing threat in the advisor industry.

The Next Rung

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Faced with higher costs and tepid recruiting, broker-dealers want to grow organically—and smarter.

What Makes Orion So Special?

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It should be able to deliver the tech services advisors need in the years ahead.

Advisor Network Brings $2B To LPL's RIA Platform

by FA Staff

LPL Financial announced today that the Center for Wealth Planning (CWP), a nationwide network of independent advisors, has joined its RIA custodial platform.

Hy Cohen, Former Royal Alliance CEO, Dies At 68

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Hy Cohen, who led the brokerage firm from 1994 to 2001, passed away on March 20 after a lengthy illness.

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